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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Emken is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Kimberly has been in the industry since 1993 and holds the Series 7, Series 63, and Series 65 licenses. Kimberly has experience working with individuals, businesses, corporations, pension and profit-sharing plans, and charitable organizations. Kimberly's firm offers a range of advisory services, including portfolio management, pension consulting, educational seminars, selection of other advisors, and performance measurement reports.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
12/06/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
07/31/1993 - 08/04/2007
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
NY
01/29/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 08/31/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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